Research Compliance

Kiatnakin Phatra Securities (KKPS) is looking for a Research Compliance professional to join our Research team.

We are seeking a detail-oriented candidate to support regulatory compliance, research publication reviews, and internal governance processes.

Key Responsibilities:

Research Compliance Review: Review equity research publications to ensure compliance with applicable regulations and internal policies.

Disclosure Controls: Verify conflicts-of-interest disclosures, investment banking relationships, restricted securities, and other mandatory disclosures.

Publication Oversight: Ensure all required compliance checks and approvals are completed before research distribution.

Compliance Coordination: Act as the primary liaison between the Research Department and Compliance on regulatory matters.

Governance & Controls: Maintain review records, support audits, and enhance research compliance procedures.

Qualifications:

Background in Compliance, Equity Research, Securities, Legal, or related fields.

Understanding of securities regulations, research publication requirements, and disclosure practices.

Good command of English, with strong reading comprehension skills and the ability to thoroughly understand equity research reports written in English.

Strong attention to detail, communication, and coordination skills.

Ability to work effectively with research analysts and cross-functional teams.